Senior Associate, Regulatory Compliance
Core
Provide compliance consultancy services to clients regulated by the Securities and Futures Commission (SFC), addressing complex regulatory issues and preparing licensing applications.
Role type
Senior Associate, Regulatory Compliance Consultant
Builds
Compliance advisory services, regulatory reports, and licensing documentation for financial institutions
Domain
Financial Services / Regulatory Compliance (Hong Kong)
Deliverable
client delivery
Required skills
Regulatory research, SFC licensing application preparation, stakeholder communication, compliance monitoring plan execution, Financial Resources Rules (FRR) knowledge
Preferred skills
Client-facing experience, MS Office proficiency, Cantonese/Mandarin proficiency
Technologies
MS Office
Responsibilities
Serve as primary point of contact for client compliance inquiries; conduct regulatory research and monitor rule updates; prepare and submit SFC filings and licensing applications; lead compliance meetings and execute monitoring reviews; draft and submit regulatory reports and returns.
Seniority
Senior, hands-on IC